Skip to main content

Content type

Topics

Year

Technical Specifications
Reference Data
Communication
Guidance
Timeline
About
CAT Fees
Reporter Portal
- Access Information

Content type

Topics

Year

Topics

Home

Filter by Content Type

Filter by Topic

All Topics

A. General

B. Reporting Requirements

C. Definitions

D. Order Receipt

E. Order Routing and Execution

F. Representative Orders

G. Manual Orders

H. ATS

I. Foreign Securities

J. OTC Equity Securities

K. Options

L. Equity Floor Brokers

M. Firm Designated ID

N. Third Party Reporting

O. Technical Requirements

P. Feedback and Error Correction

Q. Customer and Account Information

R. Clock Synchronization

S. Security

T. Production Readiness Testing

U. Allocations

V. CAT Billing

Sort by

Order

Subscribe

All Topics

Below is a summary of all available content.

UPCOMING EVENT

Apr

24

CAIS Industry Testing Checkpoint Call (April 24, 2024)

04:15PM EDT

Add To My Calendar

Displaying 111 - 120 of 1353 results

Filter by Content Type

Filter by Topic

All Topics

A. General

B. Reporting Requirements

C. Definitions

D. Order Receipt

E. Order Routing and Execution

F. Representative Orders

G. Manual Orders

H. ATS

I. Foreign Securities

J. OTC Equity Securities

K. Options

L. Equity Floor Brokers

M. Firm Designated ID

N. Third Party Reporting

O. Technical Requirements

P. Feedback and Error Correction

Q. Customer and Account Information

R. Clock Synchronization

S. Security

T. Production Readiness Testing

U. Allocations

V. CAT Billing

Sort by

Order

10/12/2023
FAQ
A10. This FAQ has been retired. Please refer to FAQ V1.

Topics

A. General
10/11/2023
Event
Monthly CAIS Industry Testing Checkpoint Call (October 11, 2023)
- Monthly CAIS Industry Testing Checkpoint Call (October 11, 2023) - Presentation
Audio file

Topics

P. Feedback and Error Correction

Q. Customer and Account Information
09/28/2023
Event
Part 1: CAT Billing Webinar
- CAT Billing Webinar - Presentation
Audio file

Topics

V. CAT Billing
09/26/2023
Reference Material
SEC Approved CAT NMS Plan as of 9/06/2023
09/25/2023
Reference Material
CAT Reporting Technical Specifications for Plan Participants v4.1.0-r20
09/22/2023
Event
Monthly CAT Update (September 21, 2023)
- Monthly CAT Update (September 21, 2023) - Presentation
Audio file

Topics

A. General

B. Reporting Requirements

P. Feedback and Error Correction

Q. Customer and Account Information
09/15/2023
Announcement
CAT Funding Model Approval

Topics

A. General
09/11/2023
FAQ
J6. What are the reporting requirements for quotes entered directly into OTC Link IDQS via OTC Link IDQS’s Dealer Application?

Topics

J. OTC Equity Securities
09/11/2023
FAQ
B44. In what phase are bids or offers in CAT reportable securities that are provided by an Industry Member or received from another Industry Member off a national securities exchange reportable to CAT?

Topics

B. Reporting Requirements
09/11/2023
FAQ
B43. Are verbal and manual quotes subject to the reporting requirements of Phases 2a, 2b, 2c or 2d?

Topics

B. Reporting Requirements

Pagination

« First
‹ Previous
…
8
9
10
11
12
13
14
15
16
…
Next ›
Last »

Need Help?

Reach out to the FINRA CAT Helpdesk by phone at 888-696-3348 or email at [email protected].

©2020- FINRA. All rights reserved.
FINRA is a registered trademark of the Financial Industry Regulatory Authority, Inc.

Footer

Contact Us
Subscribe
Legal Notice
Privacy Policy